Cindy Rosen

Senior Consultant

Consulting in an industry where I’ve spent my entire professional career is rewarding.

Cindy has 35 years of industry experience related to compliance and regulatory processes and Enhanced Due Diligence reviews, re-engineering business processes, partnering with advisors to provide comprehensive client solutions, leading project and relationship teams, training, managing transitions of financial advisors to independence through RIA practices, sales and marketing experience. Cindy began her career with Wheat, First Securities in 1986; prior to joining Oyster, Cindy provided leadership to the financial advisor conversion/recruiting efforts at a regional level for Wells Fargo Advisors and its various sales channels.

Expertise

  • Experienced in Enhanced Due Diligence risk screenings, reviewing transactional behaviors and patterns as an analyst for International Financial Crimes Management for a major national brokerage firm
  • Executing and processing regulatory client mailings
  • Internal and external Communications Review (email/social media)
  • Outside Business Activity Review
  • Monthly Statement Review for an RIA
  • Managing all aspects of opening offices in major markets, including real estate selection, technology, furniture and design, workforce training and resource planning
  • Developing marketing campaign and public seminar materials (print)
  • Developing recruiting strategies and enhancing lead flow
  • Re-engineering processes related to brokerage forms production, revision, delivery, regulatory records retention and storage solutions
  • Managing the development and centralization of processes directly related to expanding a regional firm’s national growth (Wachovia Securities);
  • Developing subject matter experts in key functional areas and streamlining communication processes as part of managing projects and managing resources

Career Highlights

  • Vice President, Regional Business Consultant, Sales and Recruiting, Wells Fargo Advisors, LLC, St, Louis, MO
  • Vice President, Senior Project Manager, Wachovia Securities, LLC, Richmond, VA
  • Vice President, Manager, Enterprise Corporate Services, Wachovia Securities, LLC, Richmond, VA
  • Vice President, Merger Relationship Manager, Wachovia Securities, LLC, Richmond, VA
  • Vice President, Manager, National Corporate Expansion, Wachovia Securities, LLC, Richmond, VA
  • Associate Vice President, Marketing Manager, Wheat, First Securities, Richmond, VA